larsh Johnson - 14 Nov 2022 Form 4/A - Amendment Insider Report for STEM, INC. (STEM)

Role
Chief Technology Officer
Signature
/s/ Kathy Medford, Attorney-in-Fact
Issuer symbol
STEM
Transactions as of
14 Nov 2022
Net transactions value
-$348,479
Form type
4/A - Amendment
Filing time
17 Nov 2022, 16:21:01 UTC
Date Of Original Report
16 Nov 2022
Previous filing
16 Aug 2022
Next filing
17 Feb 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $168,250 -12,500 -9.4% $13.46 119,956 14 Nov 2022 By Trust F1, F2, F3
transaction STEM Common Stock, Par Value $0.0001 Per Share Sale $180,229 -12,500 -10% $14.42 107,456 15 Nov 2022 By Trust F2, F3, F4
holding STEM Common Stock, Par Value $0.0001 Per Share 41,410 14 Nov 2022 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $13.35 to $13.51. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2 Also reflects shares previously disclosed as directly owned by the Reporting Person. In September, 2022, the Reporting person transferred 132,456 shares of common stock to the Trust, of which the Reporting Person is a trustee.
F3 Shares held by trust for which the Reporting Person is a trustee.
F4 The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $14.07 to $14.81. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5 Due to an error, the Reporting Person's direct holdings were previously reported as indirect holdings, and overstated by 288 shares.

Remarks:

This amendment is being filed to correct an error in the direct holdings of the Reporting Person as reported in the Form 4 filed on November 16, 2022. Line three has been added and the footnotes have been revised in this Form 4/A.